SP
Shawn S. Patt
ATALA FINANCIAL
Calabasas, CA 91302
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CRD#: 4484268
SP
Professional summary
Shawn Shyama Patt, CPWA® is a registered financial advisor currently at ATALA FINANCIAL INC located in Calabasas, California.
Shawn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Shawn has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1) UCLA ANDERSON SCHOOL OF MANAGEMENT; ADDRESS: 110 WESTWOOD PLAZA; BUSINESS DESCRIPTION: UNIVERSITY; NOT INVESTMENT RELATED; START DATE: 07/01/2009; CAPACITY: Professor; DUTIES: Teach Introduction to Business & Entrepreneurship, Personal Finance & The Student Investment Fund HOURS DEVOTED PER WEEK: 7; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 01 (2) FANTASY CLUBHOUSE; ADDRESS: PERSONAL RESIDENCE; BUSINESS DESCRIPTION: CONNECT PROFESSIONAL ATHLETES WITH FANS FOR A ROUND OF GOLF; NOT INVESTMENT RELATED; START DATE: 05/01/2015; CAPACITY: OWNER-ACTIVE; DUTIES: CEO; HOURS DEVOTED PER WEEK: 1-2; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0. (3) Price.com; ADDRESS: 425 1st St, San Francisco, CA 94105; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Money savings platform used for comparison shopping, cashback, coupons, price history, and price alerts.; CAPACITY: Advisory Board (4) Atala Tools Inc.; Investment related; 23912 Aspen Way, Calabasas, CA 91302; Platform that provides education and tools for people to make their own investment decisions and to plan their financial lives; CEO; 2/1/2023; Approximate number of hours/month: 30; Hours during trading hours: 0; Leadership, Strategic Guidance and Management of the enterprise (5) No name, Textbook published under my name; Content of textbook is investment related; 23912 Aspen Way, Calabasas, CA 91302; Writing books on financial literacy; Self (author); 6/9/23; approximate number of hours/month devoted to the other business: 10; number of hours devoted to the other business during securities trading hours: 0; writing books to educate people on Personal Finance. (6) Investment & Wealth Institute; Investment-related; 5619 DTC Parkway, Suite 600, Greenwood Village, CO 80111; Educational Institution; CPWA� Certification Commission Member; 1/1/2024; 4 hours/month; 0 hours during securities trading hours; The CPWA Certification Commission oversees CPWA � Certification. The Commission is charged with the development and maintenance of CPWA Certification, and is solely responsible for setting the requirements for initial. The Commission is autonomous and independent of the Institute Board of Directors.
CRS (Client Relationship Summary) - RIA
Click below to view Shawn Shyama Patt's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CPWA®
Start date: 2014-04-23
Expire date: 2024-03-31
Experience
Current
June 8, 2022 - Present
ATALA FINANCIAL INC
Office #1: 23912 Aspen Way, Calabasas, CA 91302RIA
CRD#: 318371
Calabasas, CA
Past
June 8, 2022 - January 6, 2024
ATALA FINANCIAL INC
RIA
CRD#: 318371
CALABASAS, CA
Past
June 15, 2021 - June 30, 2022
MAG CAP
RIA
CRD#: 298398
Calabasas, CA
Past
November 10, 2016 - June 24, 2021
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
BEVERLY HILLS, CA
Past
November 10, 2016 - June 24, 2021
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
BEVERLY HILLS, CA
Past
June 1, 2009 - November 11, 2016
MORGAN STANLEY
RIA
CRD#: 149777
BEVERLY HILLS, CA
Past
June 1, 2009 - November 11, 2016
MORGAN STANLEY
BD
CRD#: 149777
BEVERLY HILLS, CA
Past
June 6, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
LOS ANGELES, CA
Past
June 6, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
LOS ANGELES, CA
Past
September 26, 2002 - June 20, 2008
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
CENTURY CITY, CA
Past
September 6, 2002 - June 20, 2008
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
CENTURY CITY, CA
Past
January 18, 2002 - July 11, 2002
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AF
ATALA FINANCIAL INC
ATALA FINANCIAL INC
CRD#: 318371 / SEC#: 801-123628
RIA
Registered Investment Advisory firm - (4/6/2022 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
California(6/8/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
AF
ATALA FINANCIAL INC
ATALA FINANCIAL INC
CRD#: 318371 / SEC#: 801-123628
RIA
Registered Investment Advisory firm - (4/6/2022 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
23912 Aspen Way, Calabasas, CA 91302
Mailing Address
Phone number
(310) 570-2573
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 255 |
| AUM (Assets Under Management) | $ 318,643,483 |
Red Flags
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